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FINRA Sends 50 Potential COVID-19 Related Scams to SEC
FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor. Read more...
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Written by PFA News

Regulator Calls for Bond Market Reform
Securities and Exchange Commission Chair Mary Jo White is proposing a host of reforms for… Read more...

Written by PFA News

‘Free IRA’ Claims Misleading: FINRA
The Financial Industry Regulatory Authority has warned its member firms that claiming IRA are free… Read more...
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Time to Comply with SEC’s Marketing Rule Is Now, Lawyers Warn

Finra Settles First Reg BI Enforcement Action

FINRA Increases Fine Ranges

Arbitrators Hit Oppenheimer & Co with $36M Ruling Over Ponzi Scheme

CA Advisor Gets 10 Years in Prison for $300M Ponzi Scheme Targeting Veterans

Morgan Stanley Settles with Regulatory Duo for $200M

Finra Bans Duo for Cheating on Online Exam
Markets & Investments
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Written by Staff Writer

Raging Bull Market Creates Quandary for Advisors
While market bulls are understandably cheering the ongoing equity rally off of 2009 lows, the… Read more...

Written by PFA Staff

Are 'Smart Beta' Funds a Wise Choice?
Smart beta funds are one of the hottest trends on Wall Street and are generating… Read more...
Most Recent

Fidelity May Bring Crypto to Individual Brokerage Accounts

U.S. Headed for a Soft Landing: Goldman Sachs Top Economist

60/40 Strategy Isn’t Dead: Wells Fargo

Jamie Dimon Sounds Alarm Bells

Morgan Stanley CEO: ‘50-50 Odds’ of Recession, But No ‘Massive Hole’ Ahead

JPMorgan Sees 'Significant Upside' for Crypto Investors

Investor Love of Crypto May Push Reluctant FAs to Embrace It
Retirement
Featured Article
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Written by Staff Writer

401(k) Providers Giving Misleading Advice
A recent Government Accountability Office report maintains that 401(k) providers… Read more...

Written by PFA News

New Regs May Diminish Reverse Mortgage Appeal
The Department of Housing and Urban Development has changed principal… Read more...
Most Recent

IRS Boosts 401(k) Contribution Limit By a Record Amount

1 in 4 Americans Say Inflation Will Delay Retirement: Survey

How FAs Can Stay Ahead of New Retirees’ Concerns

U.S. Workers More Worried Than Europeans About Being Broke in Retirement

How Inflation is Hurting Retirees

Americans Optimistic About Retirement, But Inflation Harming Confidence

Gen Z Saving for Retirement Earlier Than Millennials: Report
News Roundup
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Written by PFA News

LPL Eyes Private Wealth Services
LPL Financial executives have outlined the firm’s plans to move into the private wealth market.… Read more...

Written by PFA News

JPMorgan Boosts Parental Leave to 16 Weeks
JPMorgan Chase has increased the available time off for a birth or adoption of a… Read more...
Most Recent

JPMorgan Boosts Parental Leave to 16 Weeks

LPL Eyes Private Wealth Services

FTX Bankruptcy Docs Name JPMorgan, Wells, BofA

Fidelity Opens Retail Crypto Trading Platform

UBS Restructures in Pursuit of Ultra-Wealthy

Wells Fargo Stays the Course in New Advisor Comp Plan

Wells Fargo Under Pressure to Pay $1B Over Consumer Abuses
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Technology & Communications (44)

UBS Buying Robo-advisor Wealthfront for $1.4B

Tuesday, 01 February 2022

Technology & Communications

Written by PFA News

UBS is acquiring robo-advisor Wealthfront for $1.4 billion. The all-cash deal is being made to help UBS accelerate growth in the U.S. and make inroads with the next generation of affluent investors. So reports Bankrate.

Ellevest, a Robo-advisor Just for Women Investors

Friday, 03 December 2021

Technology & Communications

Written by PFA News

Investing for retirement and other financial goals is different for women. That’s due to a variety of reasons, including a longer life expectance and potentially reduced earnings. So reports CNBC.

Top 10 Robo-Advisors Based on Assets Under Management

Friday, 15 October 2021

Technology & Communications

Written by PFA News

Forbes Advisor recently compiled a list of the 10 Robo-Advisors with the most assets under management. The data comes from each firm’s form ADV filed with the SEC.

TD Bank Launches Robo-Advisor and Hybrid

Friday, 15 October 2021

Technology & Communications

Written by PFA News

TD Bank has launched its first robo-advisor, TD Automated Investing, and hybrid advisor, TD Automated Investing Plus, the company announced.

CogniCor Launches Trio of AI-Powered Digital Assistants for FAs

Saturday, 01 May 2021

Technology & Communications

Written by PFA News

CogniCor, a fintech firm, has launched three digital assistant tools to help financial advisors become more efficient. So reports Think Advisor.

Robo-advisors Moving to Hybrid Approach

Saturday, 17 April 2021

Technology & Communications

Written by PFA News

As the robo-advisor industry continues to grow, some are turning to a hybrid model that combines human and digital advice. So reports CNBC.

Kake.com’s Top 7 Roboadvisors for 2021

Saturday, 02 January 2021

Technology & Communications

Written by PFA News

Kake.com released its list of the top seven roboadvisors of 2021. It evaluated 19, taking into account management fees, account minimums, customer support and ease of use.

Tips for FAs on How to Tighten Cybersecurity Practices

Saturday, 02 January 2021

Technology & Communications

Written by PFA News

In 2019, there were 3,800 publicly disclosed data breaches, resulting in the exposure of 4.1 billion personal records. And, while breaches happen in every industry, the financial sector is a prime target of hackers. So reports Advisor Hub.